0000920112-17-000149.txt : 20170314 0000920112-17-000149.hdr.sgml : 20170314 20170314172150 ACCESSION NUMBER: 0000920112-17-000149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170311 FILED AS OF DATE: 20170314 DATE AS OF CHANGE: 20170314 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HEARTLAND FINANCIAL USA INC CENTRAL INDEX KEY: 0000920112 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421405748 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 BUSINESS PHONE: 5635892000 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FULLER LYNN B CENTRAL INDEX KEY: 0001184324 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15393 FILM NUMBER: 17688992 MAIL ADDRESS: STREET 1: 1398 CENTRAL AVE CITY: DUBUQUE STATE: IA ZIP: 52001 4 1 wf-form4_148952649543852.xml FORM 4 X0306 4 2017-03-11 0 0000920112 HEARTLAND FINANCIAL USA INC HTLF 0001184324 FULLER LYNN B 1398 CENTRAL AVE. DUBUQUE IA 52001 1 1 0 0 Chairman & CEO Common Stock 584467 I As Trustee Common Stock 2017-03-11 4 M 0 1733 50.20 A 586200 I As Trustee Common Stock 301616 I Family LLLP Common Stock 5000 I Spouses Trust Common Stock 0 D Common Stock 12188 I HTLF Retirement Plan Common Stock 123078 I As Trustee 2017 Time-Based Restricted Stock Common Stock 3455.0 0 D 2017 Performance Based Restricted Stock (3-year performance) Common Stock 1727.0 0 D 2017 Performance Based Restricted Stock (1-year performance) Common Stock 3455.0 0 D 2016 Time-Based Restricted Stock Common Stock 3173.0 0 D 2016 Performance Based Restricted Stock (3-year performance) Common Stock 2524.0 0 D 2016 Performance Based Restricted Stock (1-year performance) Common Stock 5300.0 0 D 2015 Time-Based Restricted Stock Common Stock 5000.0 0 D 2015 Performance Based Restricted Stock Common Stock 3500.0 0 D 2014 Time-Based Restricted Stock Common Stock 5200.0 0 D 2014 Time-Based Restricted Stock 2017-03-11 4 F 0 1733 0 D Common Stock 3467.0 0 D 2013 Time-Based Restricted Stock Common Stock 1925.0 0 D These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee These shares are held by LBF Heartland Partnership LLLC - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners. These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protectin Act of 2006. These shares held by Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, Lynn B Fuller, Trustee Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020. These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer. Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019. These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer. These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer. Of these restricted stock units, 1/3 vest on 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020. These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer. Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019. Of these restricted stock units, 1/3 vest on 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018. /s/ Lynn B. Fuller 2017-03-13